Department of Health and Human Services

Part 1. Overview Information

Key Dates

Required Application Instructions

It is critical that applicants follow the instructions in the Application Guide (SF424 (R&R) Application Guide or PHS 398 Application Guide, as appropriate) except where instructed to do otherwise (in this FOA or in a Notice from the NIH Guide for Grants and Contracts). Conformance to all requirements (both in the Application Guide and the FOA) is required and strictly enforced. Applicants must read and follow all application instructions in the Application Guide as well as any program-specific instructions noted in Section IV. When the program-specific instructions deviate from those in the Application Guide, follow the program-specific instructions. Applications that do not comply with these instructions may be delayed or not accepted for review.

Table of Contents

1. Part 1. Overview Information
2. Part 2. Full Text of the Announcement
   1. Section I. Funding Opportunity Description
   2. Section II. Award Information
   3. Section III. Eligibility Information
   4. Section IV. Application and Submission Information
   5. Section V. Application Review Information
   6. Section VI. Award Administration Information
   7. Section VII. Agency Contacts
   8. Section VIII. Other Information

Part 2. Full Text of Announcement

Section I. Funding Opportunity Description

The National Institute of Mental Health (NIMH) continues an administrative supplement program (see NOT-MH-12-019) to provide funds to NIMH-supported research projects to support advanced research experiences for outstanding early career physicians and medical students from underrepresented backgrounds. This program aims to increase the opportunities available for individuals from diverse backgrounds working in the mental health research workforce by recruiting and supporting outstanding physician-scientists and medical students from underrepresented backgrounds. The proposed research experience must be an integral part of the approved research of the parent grant and must have the potential to contribute significantly to the candidate's research career.

Background

The NIH recognizes a unique and compelling need to promote diversity in the biomedical, behavioral, clinical and social sciences research workforce. The NIH expects efforts to diversify the workforce to lead to the recruitment of the most talented researchers from all groups; improve the quality of the educational and training environment; balance and broaden the perspective in setting research priorities; improve the ability to recruit subjects from diverse backgrounds into clinical research protocols; and to improve the Nation's capacity to address and eliminate health disparities.

Accordingly, the NIH continues to encourage institutions to diversify their student and faculty populations and thus to increase the participation of individuals from groups currently underrepresented in the biomedical, clinical, behavioral, and social sciences at a national level, such as: individuals from underrepresented racial and ethnic groups, individuals with disabilities, and individuals disadvantaged backgrounds. For this program, applicants are encouraged to identify candidates who will increase diversity in the national research workforce.

Numerous studies continue to underscore the lack of diversity among scientists who are engaged in biomedical and behavioral research in the U.S. and provide evidence of a national need to develop and maintain a strong and diverse 21st century scientific workforce. Although the NIH currently provides multiple opportunities to develop research careers and improve participation for individuals from groups with low representation in the biomedical and behavioral sciences, reports from the National Science Foundation and others provide strong evidence that diversity remains an important problem that the entire research enterprise must actively address.

Recent data highlight challenges to increasing the diversity of the biomedical research workforce. For example, in 2006, African Americans, American Indians and Alaska Natives, Hispanic/Latinos, and Native Hawaiians/Other Pacific Islanders constituted approximately 25% of the U.S. population, and 15% of recent medical graduates, but only 7.5% of full-time medical faculty. Over time, these rates have remained stagnant. In 2013, African Americans, American Indians and Alaska Natives, Hispanic/Latinos, and Native Hawaiians/Other Pacific Islanders constituted approximately 15.3% and 6.6% of medical graduates and full-time medical faculty, respectively.

There is abundant evidence that the biomedical and educational enterprise will directly benefit from broader diversity. Research has noted that diversity during medical training enhances the quality of the physician workforce by introducing different perspectives and fostering collaboration, which enhances creative problem solving. Similarly, increasing diversity may contribute to a balanced research agenda by introducing new lines of scholarship, promoting better understanding of factors influencing health service utilization and decision-making, and increasing and strengthening basic, translational, and clinical research, as well as intervention development and implementation, and dissemination of research findings. There is no question that the need for a diverse workforce permeates all aspects of the nation's health-related research effort.

The NIMH has an emphasis on research capacity building with a particular focus on expanding opportunities in research training and career development for investigators from backgrounds underrepresented in biomedical research. The NIMH is committed to increasing the diversity of the mental health research workforce. This commitment is exemplified by the research training and career development programs supported by the institute and by the reports and associated recommendations issued in two workgroup reports of the National Advisory Mental Health Council, Investing in the Future and An Investment in America’s Future: Racial/Ethnic Diversity in Mental Health Research Careers. Despite this commitment, the pipeline of individuals from diverse backgrounds underrepresented in biomedical science striving toward and becoming NIMH-funded investigators continues to be less than would be expected or desired. This pattern is most striking in genetics and neuroscience, two research areas in which NIMH expects sustained need for skilled researchers in the future.

In addition to improving the diversity of the mental health research workforce, NIMH seeks to increase the number of physician-scientists conducting mental health research. Much has been written about the critical role that physicians play in biomedical research. It is widely believed that physician researchers bring a unique perspective to research because of the blend of clinical and research perspectives honed through graduate and medical education, residency, and fellowship. In addition, physician researchers may be well-trained for translational research careers, where they can move clinical problems into the laboratory and incorporate scientific findings into bedside care.

Over the past three decades, there has been a steady decline in the number of physician-scientists actively pursuing research careers. In neuroscience and psychiatry, the decline has been even more rapid than in other branches of medicine. Ironically, shortages of psychiatrists pursuing research careers are occurring at a time of unprecedented basic science discoveries in genetics and neuroscience. Maintaining the growth in knowledge in the basic sciences relevant to mental disorders and translating basic science insights into the patient-care realm will be critical for improving the understanding and treatment of mental illness. This Administrative Supplement Program is designed to encourage the recruitment, training, and retention of outstanding physician-scientists from diverse backgrounds underrepresented in biomedical research. The NIMH expects that participation in this administrative supplement program will enhance the professional development of the participating individuals, sustain their career trajectory through research independence, and lead to scientific advances that will help transform the understanding and treatment of mental illness.

Types of Research Opportunities Supported under this FOA

The proposed research experience must be an integral part of the approved, ongoing research of the parent grant and it must have the potential to contribute significantly to the research career of the candidate. The specific scope of the research experience may vary depending on such factors as career stage of the candidate, the nature of the parent grant, the candidate's technical skills and long-term research goals, and the candidate's available effort. The proposed research experiences should address one of the four options described below:

1. Short-Term (e.g. summer) or one-year mentored research experiences for medical students interested in pursuing research careers.

   The goal of this research opportunity is to give outstanding medical students interested in mental health research an opportunity to gain research experience during the summer months or during the academic school year as an elective and/or additional year of medical school. The latter option is designed to support biomedical research experiences for students currently enrolled in accredited U.S. medical school programs. Short-term (e.g., summer) support is provided for at least eight weeks at 100% full time effort. Support for an elective and/or additional year is provided for 9 to 12 months duration at 100% full-time effort. The candidate may be affiliated with either the applicant institution or another academic institution. Students enrolled in MD/PhD programs are not eligible to apply for this research experience.

2. Graduate Medical Education Trainee Research Experiences including residency and fellowship. The goal of this research opportunity is to help physicians move more efficiently and effectively from residency to the next stage of their research careers by supporting protected research experience time during the residency or fellowship. The program will support an intensive, advanced research experience. Support is provided for a minimum of four months and no more than 2 years. During this period, candidates must spend at least 20% full-time effort (e.g., 2.4 person months during a 12 month period) engaged in the biomedical research experience (e.g., at least 8 hours per week for four months). The candidate may be affiliated with either the applicant institution or another academic institution. Candidates enrolled in research track residency programs are not eligible to apply for this research experience.
3. Research Experiences for Research Track Residents. The goal of this research opportunity is to provide a research experience for outstanding physicians in their final year of residency who wish to enhance their research capabilities in preparation for an independent career in mental health-related research. Support is available for up to three years. The first year of support is required to overlap with the last year of residency and candidates must be able to devote at least 75% full-time effort (9 person months) to research during this 12-month period. Years 2 and 3 will enable additional advanced postdoctoral research experiences after residency is completed. During years 2 and 3 of support, candidates must commit at least 50% full-time effort (6 person months) to the proposed research experience. Candidates must hold a postdoctoral (or equivalent) or faculty position during years 2 and 3 of support. The candidate may be affiliated with either the applicant institution or another academic institution.
4. Postdoctoral Research Experiences for Physicians. The goal of this research opportunity is to provide a postdoctoral research experience for outstanding early career physicians interested in conducting mental health research who have already completed residency and/or fellowship. Candidates within three years of completing their medical residency at the time of application may apply. The program will support advanced postdoctoral research experiences for a duration of two years. Candidates must commit at least 50% full-time effort (6 person months) to the proposed research experience. Candidates must hold a postdoctoral (or equivalent) or faculty position during years 2 and 3 of support. The candidate may be affiliated with either the applicant institution or another academic institution.

Section II. Award Information

NIH grants policies as described in the NIH Grants Policy Statement will apply to the applications submitted and awards made in response to this FOA.

Section III. Eligibility Information

1. Eligible Applicants

Eligible Organizations

All organizations administering an eligible parent award may apply for a supplement under this announcement.

Higher Education Institutions

• Public/State Controlled Institutions of Higher Education
• Private Institutions of Higher Education

The following types of Higher Education Institutions are always encouraged to apply for NIH support as Public or Private Institutions of Higher Education:

• Hispanic-serving Institutions
• Historically Black Colleges and Universities (HBCUs)
• Tribally Controlled Colleges and Universities (TCCUs)
• Alaska Native and Native Hawaiian Serving Institutions
• Asian American Native American Pacific Islander Serving Institutions (AANAPISIs)

Nonprofits Other Than Institutions of Higher Education

• Nonprofits with 501(c)(3) IRS Status (Other than Institutions of Higher Education)
• Nonprofits without 501(c)(3) IRS Status (Other than Institutions of Higher Education)

For-Profit Organizations

• Small Businesses
• For-Profit Organizations (Other than Small Businesses)

Governments

• State Governments
• County Governments
• City or Township Governments
• Special District Governments
• Indian/Native American Tribal Governments (Federally Recognized)
• Indian/Native American Tribal Governments (Other than Federally Recognized)
• Eligible Agencies of the Federal Government
• U.S. Territory or Possession

Other

• Independent School Districts
• Public Housing Authorities/Indian Housing Authorities
• Native American Tribal Organizations (other than Federally recognized tribal governments)
• Faith-based or Community-based Organizations
• Regional Organizations
• Non-domestic (non-U.S.) Entities (Foreign Institutions)

This announcement is for supplements to NIMH-supported research projects. The R03, R21, R21/R33, and R34 mechanisms are only eligible for supplements to support short-term (e.g. summer) or one-year medical student research experiences. Applications will be accepted in all research areas supported by eligible NIMH grants. NIH DP1 and DP2 awards may be supplemented through this program if the funded research is aligned with the mission and strategic priorities of the NIMH. This administrative supplement opportunity is not intended to provide an alternative or additional means of supporting individuals who already receive support from PHS-funded research or training grants. Individuals may not be transferred to a supplement to increase the availability of funds to the parent grant for other uses.

This announcement is for supplements to existing projects. To be eligible, the parent award must be active and the research proposed in the supplement must be accomplished within the competitive segment. The proposed supplement must be to provide for an increase in costs due to unforeseen circumstances. All additional costs must be within the scope of the peer reviewed and approved project.

IMPORTANT: The research proposed by the NIH grantee in the supplement application must be within the original scope of the NIH-supported grant project.

Foreign Institutions

Non-domestic (non-U.S.) Entities (Foreign Institutions) are eligible to apply.

Non-domestic (non-U.S.) components of U.S. Organizations are eligible to apply.

Foreign components, as defined in the NIH Grants Policy Statement, are allowed.

Required Registrations

Applicant Organizations

Applicant organizations must complete and maintain the following registrations as described in the SF 424 (R&R) Application Guide to be eligible to apply for or receive an award. All registrations must be completed prior to the application being submitted. Registration can take 6 weeks or more, so applicants should begin the registration process as soon as possible. The NIH Policy on Late Submission of Grant Applications states that failure to complete registrations in advance of a due date is not a valid reason for a late submission.

• Dun and Bradstreet Universal Numbering System (DUNS) - All registrations require that applicants be issued a DUNS number. After obtaining a DUNS number, applicants can begin both SAM and eRA Commons registrations. The same DUNS number must be used for all registrations, as well as on the grant application.
• System for Award Management (SAM) (formerly CCR) Applicants must complete and maintain an active registration, which requires renewal at least annually. The renewal process may require as much time as the initial registration. SAM registration includes the assignment of a Commercial and Government Entity (CAGE) Code for domestic organizations which have not already been assigned a CAGE Code.
  • NATO Commercial and Government Entity (NCAGE) Code Foreign organizations must obtain an NCAGE code (in lieu of a CAGE code) in order to register in SAM.
• eRA Commons - Applicants must have an active DUNS number and SAM registration in order to complete the eRA Commons registration. Organizations can register with the eRA Commons as they are working through their SAM or Grants.gov registration. eRA Commons requires organizations to identify at least one Signing Official (SO) and at least one Program Director/Principal Investigator (PD/PI) account in order to submit an application.
• Grants.gov Applicants must have an active DUNS number and SAM registration in order to complete the Grants.gov registration.

Program Directors/Principal Investigators (PD(s)/PI(s))

All PD(s)/PI(s) must have an eRA Commons account. PD(s)/PI(s) should work with their organizational officials to either create a new account or to affiliate their existing account with the applicant organization in eRA Commons.If the PD/PI is also the organizational Signing Official, they must have two distinct eRA Commons accounts, one for each role. Obtaining an eRA Commons account can take up to 2 weeks.

Eligible Individuals (Program Director/Principal Investigator)

Individual(s) must hold an active grant or cooperative agreement, and the research proposed in the supplement must be accomplished within the competitive segment of the active award. Individuals are encouraged to work with their organizations to develop applications for support.

For supplements to parent awards that include multiple PDs/PIs, the supplement may be requested by any or all of the PDs/PIs (in accordance with the existing leadership plan) and submitted by the awardee institution of the parent award. Do not use this administrative supplement application to add, delete, or change the PDs/PIs listed on the parent award. Visit the Multiple Program Director/Principal Investigator Policy in the SF424 (R&R) Application Guide for more information.

2. Cost Sharing

This FOA does not require cost sharing as defined in the NIH Grants Policy Statement.

3. Additional Information on Eligibility

Number of Applications

Applicant organizations may submit more than one application, provided that each is sufficiently distinct from any other administrative supplement currently under consideration by the awarding NIH Institute or Center.

Eligible Candidates

For the purposes of this announcement applicants are encouraged to identify candidates who will increase diversity on a national basis. The NIH is particularly interested in encouraging the recruitment and retention of the following classes of candidates:

1. A. Individuals from racial and ethnic groups that have been shown by the National Science Foundation to be underrepresented in health-related sciences on a national basis (see data at http://www.nsf.gov/statistics/showpub.cfm?TopID=2&SubID=27 and the report Women, Minorities, and Persons with Disabilities in Science and Engineering, 2007, p.262). The following racial and ethnic groups have been shown to be underrepresented in biomedical research: Blacks or African Americans, Hispanic or Latino Americans, American Indians and Alaska Natives, Native Hawaiians and Other Pacific Islanders.
2. Individuals with disabilities, who are defined as those with a physical or mental impairment that substantially limits one or more major life activities.
3. Individuals from disadvantaged backgrounds who are defined as:
   1. Individuals who come from a family with an annual income below established low-income thresholds. These thresholds are based on family size, published by the U.S. Bureau of the Census; adjusted annually for changes in the Consumer Price Index; and adjusted by the Secretary for use in all health professions programs. The Secretary periodically publishes these income levels at http://aspe.hhs.gov/poverty/index.shtml . For individuals from low income backgrounds, the institution must be able to demonstrate that such candidates: (a) have qualified for Federal disadvantage assistance; or (b) have received any of the following student loans: Health Professional Student Loans (HPSL), Loans for Disadvantaged Student Program; or have received scholarships from the U.S. Department of Health and Human Services under the Scholarship for Individuals with Exceptional Financial Need.
   2. Individuals who come from a social, cultural, or educational environment such as that found in certain rural or inner-city environments that have demonstrably and recently directly inhibited the individual from obtaining the knowledge, skills, and abilities necessary to develop and participate in a research career.

The disadvantaged background category is most applicable to high school and perhaps undergraduate candidates, but would be more difficult to justify for individuals beyond that level of achievement. Since this opportunity focuses on students enrolled in medical school and in PhD programs, this category does not apply.

At the time of application, candidates must be a citizen or non-citizen national of the United States or have been lawfully admitted for permanent residence. Candidates for all research opportunities may be affiliated with either the applicant institution or another academic institution.

Candidates for short-term (e.g. summer) or one-year mentored research experiences for medical students must be enrolled and in good standing in an AAMC-accredited medical program and must be able to commit appropriate effort to the proposed research experience (i.e., 100% full-time effort for the duration of the award). Students enrolled in MD/PhD programs are not eligible to apply for this research experience.

Candidates for graduate medical education trainee research experiences and research experiences for research track residents must be enrolled and in good standing in an ACGME-accredited residency or fellowship program and must be able to commit appropriate effort to the proposed research experience. Candidates pursuing the graduate medical education trainee research experience must commit at least 20% of full time professional effort (e.g., 2.4 person months in a 12 month period) for the duration of the award. At the time of award, candidates pursuing the graduate medical education trainee research experience must be at least PGY2 of residency or beyond. Candidates pursuing research experiences for research-track residents must commit 75% full-time professional effort in the first year of support and at least 50% full-time professional effort (6 person months) in the subsequent year(s) of support. Candidates must hold a postdoctoral (or equivalent) or a faculty position during years 2 and 3 of support.

Candidates for postdoctoral research experiences for physicians must be within three years of completing their medical residency and/or fellowship at the time of application. Candidates must commit at least 50% full-time effort (6 person months) to the proposed research experience. Candidates must hold a postdoctoral (or equivalent) or faculty position.

Section IV. Application and Submission Information

1. Requesting an Application Package

For electronic submissions, applicants must download the SF424 (R&R) application package associated with this funding opportunity using the "Apply for Grant Electronically" button in this announcement, or use the eRA Commons streamlined submission process.

2. Content and Form of Application Submission

All forms must be completed for the supplemental activities only and must not reflect funding or activities for the previously awarded parent award.

It is critical that applicants follow the instructions in the Application Guide (SF424 (R&R) Application Guide or PHS 398 Application Guide, as appropriate) including Supplemental Grant Application Instructions except where instructed in this funding opportunity announcement to do otherwise. Conformance to the requirements in the Application Guide is required and strictly enforced. Applications that are out of compliance with these instructions may be delayed or not accepted for review.

For information on Application Submission and Receipt, visit Frequently Asked Questions Application Guide, Electronic Submission of Grant Applications.

Page Limitations

All page limitations described in the Application Guide and the Table of Page Limits must be followed, with the following exceptions or additional requirements:

• Research Strategy (to include Research and Career Development Plan): 6 pages
• Candidate Statement: 3 pages
• Applicant Eligibility Statement: 1 page

Application Submission

Electronic submission of request for administrative supplements is only available for single-project activity codes for which competing applications are submitted electronically. Visit the list of single-project Activity Codes Processed Electronically by eRA to determine if the single-project activity code of the parent award has transitioned to electronic submission. Submission of requests for administrative supplements for all other activity codes must use paper.

• If the administrative supplement may be submitted electronically, then you may either (A) submit using the SF424 (R&R) Application Forms and Grants.gov/Apply, (B) submit using the streamlined submission process of eRA Commons, or (C) submit using the paper-based PHS 398 Application forms and the PHS 398 Application Guide.

Applicants submitting paper applications must use the PHS 398 Application Forms and the PHS 398 Application Guide.

Instructions for Submissions using Grants.gov/Apply for electronic-based submissions

For single project grants with activity codes that have transitioned to electronic submission using the SF424 (R&R) application forms, administrative supplement requests may be submitted electronically as a Revision application type on the R&R Cover Form. Prepare applications using the SF424 (R&R) application forms associated with this announcement. Please note that some forms marked optional in the application package are required for submission of applications for this announcement. Follow all instructions in the SF424 (R&R) Application Guide to ensure you complete all appropriate required and optional forms.

Special Instructions for Streamlined Submissions using the eRA Commons for electronic-based submissions

NIH now offers a streamlined system through the eRA Commons for submitting administrative supplements. Login to the eRA Commons, identify the parent award, and prepare an administrative supplement request. A User’s Guide for submitting through this system is available.

Include the Research Strategy and any other required documentation (described below) as a PDF file using the "Add Other Attachments" function. Budget information should be entered for the grantee institution in the fields provided. There is no template or form available for subaward information; instead, all subaward information should be included as a separate attachment showing the funds requested (by budget period) using the same categories provided for the grantee institution. Also include a budget justification for the subawardee institution in the same file.

Instructions for Submissions using the PHS 398 Application Forms (for paper-based submissions)

Applications must be prepared using the PHS 398 research grant application forms and instructions for preparing a research grant application. The grantee institution, on behalf of the PD/PI of the parent award, must submit the request for supplemental funds directly to the awarding component that supports the parent award. Submit a signed, typewritten original of the application, including the checklist, to:

Division of Extramural Activities
National Institute of Mental Health
6001 Executive Boulevard, MSC 9607
Bethesda, MD 20892
Rockville, MD 20852 (FedEx, UPS)
Email: [email protected]

On the face page of the application form, note that your application is in response to a specific program announcement, and enter the title and number of this announcement.

PHS 398 Research Plan (Research Plan)

All instructions in the Application Guide must be followed for all Research Plan sections applicable to the proposed supplement activities. At a minimum, the Research Strategy section should be completed and must include a summary or abstract of the funded parent award or project. Other sections should also be included if they are being changed by the proposed supplement activities.

Research Strategy: The description of the proposed research experience plan must include:

• Clear statement indicating to which supplement opportunity the applicant is applying (i.e., medical student, graduate medical education trainee, research experience for research track residents, or postdoctoral research experiences for physicians)
• How the appointment of the particular candidate will improve the diversity of the mental health research workforce nationally;
• The quality of the proposed research plan and its appropriateness for the candidate's current career stage;
• The candidate's qualifications and potential as a physician-scientist conducting independent, mental health-related research;
• The alignment of the proposed research plan with the mission and strategic priorities of the NIMH as exemplified in the NIMH Strategic Plan, or, for AIDS-related applications, as exemplified in the research priorities of the most recent annual Trans-NIH Plan for HIV-Related Research and the priorities of the NIMH Division of AIDS Research; and
• The commitment of the Program Director/Principal Investigator (PD/PI) and other faculty (if applicable) to provide appropriate guidance and supervision of the candidate's research experience and facilitate his/her successful transition to the next career stage. It is expected that the application will reflect the individual needs of the candidate who is being nominated for support.
• Research and Career Development Plan. An appropriate research plan for the candidate must be included in the application. In addition to summarizing the candidate’s proposed research, the application must describe how the research experience will expand and foster the research capabilities of the candidate and how they relate to the research goals and objectives of the parent grant. The plan should present evidence that the proposed experience is appropriate for the stage of the candidate’s research development, and that it will significantly enhance the individual’s research potential, while furthering the candidate’s ability to pursue a mental health research career. Required elements of the career development plan include:
• Details regarding PD/PI-candidate interactions. The plan should go well beyond simple laboratory assignments and supervision plans or stating that the candidate will attend seminars and lab meetings. The plan should be detailed and must address the frequency of meetings, topics to be discussed, and how progress will be monitored. Appropriate milestones for progress might include submission of abstracts for scientific meetings or preparation and submission of manuscripts for publication, depending on the career stage of the candidate. Plans for transition to the next stage in the candidate’s career path should be described.
• The PD/PI must describe how she/he will assist the candidate in achieving the objectives and goals they have described in their candidate statement (see below)
• A timeline for the research and career development activities. Specific milestones should be presented via a Gantt chart or equivalent, with associated timelines and identified outcomes.
• Experience of the PD/PI. All applicants must describe their experience and track record as a supervisor highlighting experience guiding medical students, physicians, and other early career individuals. The PD/PI should provide evidence of supervision experience and success (e.g., a list of past trainees and their current positions). If the PD/PI is a junior faculty member, it may be appropriate to include an experienced co-mentor in the plan. The PD/PI should also describe his/her prior success in guiding individuals from diverse backgrounds and the outcomes of these efforts. The role(s) of other contributing investigators or faculty should be described in the application and their biosketches must be included with the application.
• Applications must include a plan for the candidate to interact with other individuals on the parent grant, to contribute intellectually to the research, and to enhance his/her research skills and knowledge regarding the selected area of science. The research experience must also provide evidence of a focus on the enhancement of the research capability of the candidate as it is intended to provide opportunities for development as a productive researcher. Administrative supplement requests must demonstrate that the PD/PI is willing to provide appropriate guidance and supervision for the candidate.

Letters of Support: If the candidate is a medical student, resident, or physician at another site other than the grantee institution, an appropriately signed letter from the institution where the research is to be conducted must also be submitted. The request must be signed by the candidate, PD/PI, and the Authorized Signing Official.

Project/Performance Site Locations (Project/Performance Sites)

All instructions in the Application Guide must be followed, with the following additional instructions:

• Include the primary site where the proposed supplement activities will be performed.
• If a portion of the proposed supplement activities will be performed at any other site(s), identify the locations in the fields provided.

Senior/Key Personnel Form

All instructions in the Application Guide must be followed, with the following additional instructions:

• List the PD/PI as the first person (regardless of their role on the supplement activities).
• List any other Senior/Key Personnel (with a role on the supplement), followed by the Candidate who is being added through this supplement, or for whom additional funds are being requested through this supplement; include a biographical sketch for each.
• Candidates for diversity supplement support must have a profile in the eRA Commons, and the candidate’s Commons Username should be entered on the Senior/Key Personnel form.
• Biographical Sketch: A biographical sketch of the candidate should be submitted. The biosketch must not exceed 4 pages and should include the following additional information:
• Evidence of scientific achievement or interest.
• Any source(s) of current funding.
• A statement from the candidate outlining her/his research objectives and career goals.
• Each investigator’s Biographical Sketch should document the individual’s qualifications and experience to guide the candidate and specifically describe his/her role in the candidate’s research experience.

R&R Detailed Budget Form (for use with electronic submissions)

All budgets should be submitted using the R&R Detailed Budget form, regardless of the form used for the parent award, and should only include funds requested for the additional supplement activities.

The NIMH will provide salary support for the candidate in addition to other necessary expenses, such as supplies and travel, to enable the individual to participate fully in the proposed research experience. The NIMH will provide compensation that conforms to the established, consistently applied salary and wage policies of the institution, consistent with the level of effort and NIH policy on graduate student compensation (see https://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-017.html).

Additional funds up to $4,200 per year may be requested for supplies and travel.

For residents, the requested salary and fringe may generally not exceed $75,000 per year. The supplement may include up to $10,000 annually for supplies and travel for the candidate in PGY2 and PGY3. Funds up to $20,000 annually may be requested for supplies and travel for candidates PGY4 and beyond. Funds may not be used to purchase equipment. If less than 12 months of support is requested, the budget must be prorated accordingly.

Budget for the Entire Proposed Period of Support (for use with paper-based submissions)

A proposed budget should be submitted using the PHS 398 budget forms, in accordance with the PHS 398 Application Guide, and should only include funds requested for the additional supplement activities. The NIMH will provide salary support for the candidate in addition to other necessary expenses, such as supplies and travel, to enable the individual to participate fully in the proposed research experience. The NIMH will provide compensation that conforms to the established, consistently applied salary and wage policies of the institution, consistent with the level of effort and NIH policy on graduate student compensation (see https://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-017.html).

Additional funds up to $4,200 per year may be requested for supplies and travel.

For residents, the requested salary and fringe may generally not exceed $75,000 per year. The supplement may include up to $10,000 annually for supplies and travel for the candidate in PGY2 and PGY3. Funds up to $20,000 annually may be requested for supplies and travel for candidates PGY4 and beyond. Funds may not be used to purchase equipment. If less than 12 months of support is requested, the budget must be prorated accordingly.

If during the supplement the candidate receives an NRSA fellowship or a Career (K) award, any remaining supplement salary funds will be rescinded.

Other Project Information (for use with electronic submissions); Appendix (use with paper-based submissions)

All instructions in the Application Guide must be followed, with the following additional instructions:

IACUC Documentation and IRB Documentation (Uploaded via the Other Attachments Section for electronic submissions)

• If applicable, include documentation that the proposed research experience was approved by the Institutional Animal Care and Use Committee (IACUC) or human subjects Institutional Review Board (IRB) at the grantee institution. Adherence to the NIH policy for including women and minorities in clinical studies must also be ensured, if additional human subjects involvement is planned for the supplement component.

Include a current Human Subjects/IRB or Vertebrate Animals/IACUC approval letter, if available. Otherwise, this will be required at the time of funding. All appropriate IRB and IACUC approvals must be in place prior to a supplement award being made.

Any differences in the involvement or use of human subjects or specimens, or use of vertebrate animals, between the administrative supplement activity and the parent grant should be noted. When appropriate, details should be provided on the protection of human subjects and inclusion of women, children, and minorities.

Candidate Statement (not to exceed 3 pages). Candidates must provide a signed statement outlining career stage-appropriate short- and long-term research objectives and career goals. The candidate’s statement is expected to summarize prior research experience and accomplishments, how the planned activities are related to and will facilitate achievement of his/her short- and long-term research career goals, and how his/her research goals intersect with the mission and strategic priorities of the NIMH.

Statement of Eligibility (not to exceed 1 page). Applicants are required to furnish a letter from the sponsoring institution establishing the eligibility of the candidate for support, which should include evidence that the applicant is in good standing as a medical student or resident, as appropriate, is an individual from an underrepresented background, and is a U.S. citizen or has been lawfully admitted for permanent residence. The statement of eligibility must be on institutional letterhead and scanned so that the signature of the signing official is clearly visible. The statement must include certification that the applicant:

• Is enrolled in a full-time, accredited U.S. medical school program or ACGME-accredited residency program and in good standing, as appropriate;
• Is a U.S. citizen, non-citizen national, or has been lawfully admitted for permanent residence and is an individual from an underrepresented background (see section on Eligible Candidates);
• Information on the nature of the candidate’s disability, circumstances, background, or characteristics that confer eligibility under this program;
• A description of how the appointment of this specific candidate will address the issue of underrepresentation within the national scientific workforce and increase the number of highly-trained physician scientists conducting mental health research;
• A description of any current or previous PHS research grant support the candidate has received, including start and end dates. Include a statement that the candidate has not received any current or previous PHS support, if applicable;
• A statement from the appropriate official (e.g., Dean of Medical School, Residency Program Director, Department Chair) documenting the institution’s commitment to the research activities and associated time commitment of the candidate proposed in the supplement application and that this commitment will not adversely affect the candidate’s time to graduation, board eligibility and/or prolong the period of residency or clinical fellowship, as appropriate.

Letter from Research Residency Program (R25) PD/PI (if applicable)

If support is requested for a candidate during residency and the candidate is at an institution with an NIMH-supported research residency program (R25), then a letter should also be included from the R25 PD/PI describing why the current candidate cannot be supported by the research residency program.

Letter from Another Institution where Research will be Conducted (if applicable)

If any of the research is to be conducted at a site other than the grantee institution, submit an appropriately signed letter from the institution where the research is to be conducted. This request must be signed by the candidate, PD/PI, and the appropriate Authorized Signing Official.

The filename provided for each "Other Attachment" will be the name used for the bookmark in the electronic application in eRA Commons.

Planned Enrollment Report

When conducting clinical research, follow all instructions for completing the Planned Enrollment Report as described in the SF424 (R&R) Application Guide.

PHS 398 Cumulative Inclusion Enrollment Report

When conducting clinical research, follow all instructions for completing the Cumulative Inclusion Enrollment Report as described in the SF424 (R&R) Application Guide.

Foreign Institutions

Foreign (non-U.S.) institutions must follow policies described in the NIH Grants Policy Statement, and procedures for foreign institutions described throughout the Application Guide.

3. Submission Dates and Times

Part I. Overview Information contains information about Key Dates. Applicants are encouraged to submit applications before the due date to ensure they have time to make any application corrections that might be necessary for successful submission.

Organizations must submit applications as described above. Applicants must then complete the submission process by tracking the status of the application in the eRA Commons, NIH’s electronic system for grants administration.

Applicants are responsible for viewing their application before the due date in the eRA Commons to ensure accurate and successful submission.

For electronic application submission, information on the submission process and a definition of on-time submission are provided in the SF424(R&R) Application Guide.

For paper-based application submission, information on the process of receipt and determining if your application is considered on-time is described in detail in the PHS 398 Application Guide.

4. Intergovernmental Review (E.O. 12372)

This initiative is not subject to intergovernmental review.

5. Funding Restrictions

All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement.

Pre-award costs are allowable only as described in the NIH Grants Policy Statement.

6. Other Submission Requirements and Information

Applications must be submitted using the instructions specified above.

Applicants must complete all required registrations before the application due date. Section III. Eligibility Information contains information about registration.

For assistance with your electronic application or for more information on the electronic submission process, visit Applying Electronically.

Important reminders:

For applications submitted electronically on the SF424 (R&R) Application forms, all PD(s)/PI(s) must include their eRA Commons ID in the Credential field of the Senior/Key Person Profile form of the SF 424(R&R) Application Package. Failure to register in the Commons and to include a valid PD/PI Commons ID in the credential field will prevent the successful submission of an electronic application to NIH.

The applicant organization must ensure that the DUNS number it provides on the application is the same number used in the organization’s profile in the eRA Commons and for the (SAM). Additional information may be found in the Application Guide.

See more tips for avoiding common errors.

Upon receipt, applications will be evaluated for completeness and/or responsiveness by the awarding Institute or Center. Applications that are incomplete and/or nonresponsive will not be reviewed.

Post Submission Materials

Not Applicable

Section V. Application Review Information

1. Criteria

Administrative Supplements do not receive peer review. Instead, the administrative criteria described below will be considered in the administrative evaluation process.

The staff of the NIH awarding component will evaluate requests for a supplement to determine its overall merit. The following general criteria will be used:

Budget and Period of Support

NIH staff will consider whether the budget and the requested period of support are fully justified and reasonable in relation to the proposed research.

Overall Impact

NIH staff will consider the ability of the proposed supplement activities to increase or preserve the parent award’s overall impact within the original scope of award:

• Will the administrative supplement increase or preserve the likelihood for the project to exert a sustained, powerful influence on the research field(s) involved?

• Based on the candidate's qualifications, including career goals, prior research training, and research potential, does the candidate have high potential for an independent research career conducting NIMH-relevant mental health research?

• Does the proposed research experience plan have scientific merit? Is it feasible within the context of a short-term research experience for medical students or the context of residency? Will the proposed experience expand and foster the candidate's research capabilities, knowledge, and/or skills? Is there sufficient institutional commitment for the proposed research experience?

• Are the proposed activities related to the funded grant and the mission and research priorities of the NIMH as exemplified in the NIMH Strategic Plan, or for AIDS-related applications, as exemplified in the research priorities of the most recent annual Trans-NIH Plan for HIV-Related Research and the priorities of the NIMH Division of AIDS Research?

• Do the proposed mentors have adequate mentoring experience that had led to successful outcomes?

In addition, each of the following criteria will be evaluated as applicable for the proposed supplement.

Protections for Human Subjects:

For research that involves human subjects but does not involve one of the six categories of research that are exempt under 45 CFR Part 46, NIH staff will evaluate the justification for involvement of human subjects and the proposed protections from research risk relating to their participation according to the following five review criteria: 1) risk to subjects, 2) adequacy of protection against risks, 3) potential benefits to the subjects and others, 4) importance of the knowledge to be gained, and 5) data and safety monitoring for clinical trials.

For research that involves human subjects and meets the criteria for one or more of the six categories of research that are exempt under 45 CFR Part 46, NIH staff will evaluate: 1) the justification for the exemption, 2) human subjects involvement and characteristics, and 3) sources of materials. For additional information on review of the Human Subjects section, please refer to the Guidelines for the Review of Human Subjects.

Inclusion of Women, Minorities, and Children

When the proposed project involves human subjects and/or NIH-defined clinical research, the committee will evaluate the proposed plans for the inclusion (or exclusion) of individuals on the basis of sex/gender, race, and ethnicity, as well as the inclusion (or exclusion) of children to determine if it is justified in terms of the scientific goals and research strategy proposed. For additional information on review of the Inclusion section, please refer to the Guidelines for the Review of Inclusion in Clinical Research.

Vertebrate Animals

NIH staff will evaluate the involvement of live vertebrate animals as part of the scientific assessment according to the following five points: 1) proposed use of the animals, and species, strains, ages, sex, and numbers to be used; 2) justifications for the use of animals and for the appropriateness of the species and numbers proposed; 3) adequacy of veterinary care; 4) procedures for limiting discomfort, distress, pain and injury to that which is unavoidable in the conduct of scientifically sound research including the use of analgesic, anesthetic, and tranquilizing drugs and/or comfortable restraining devices; and 5) methods of euthanasia and reason for selection if not consistent with the AVMA Guidelines on Euthanasia. For additional information on review of the Vertebrate Animals section, please refer to the Worksheet for Review of the Vertebrate Animal Section.

Biohazards

NIH staff will assess whether materials or procedures proposed are potentially hazardous to research personnel and/or the environment, and if needed, determine whether adequate protection is proposed.

2. Review and Selection Process

Administrative supplement requests will undergo an administrative evaluation by NIH staff, but not a full peer review. Applications submitted for this funding opportunity will be assigned to the awarding component for the parent award and will be administratively evaluated using the criteria shown above.

3. Anticipated Announcement and Award Dates

Not Applicable

Section VI. Award Administration Information

1. Award Notices

A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization for successful applications. This may be as an NoA for the supplemental activities only; alternatively, it may be as either a revision to the current year NoA or included as part of a future year NoA. The NoA signed by the grants management officer is the authorizing document and will be sent via email to the grantee’s business official.

Awardees must comply with any funding restrictions described in Section IV.5. Funding Restrictions. Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs.

Any application awarded in response to this FOA will be subject to terms and conditions found on the Award Conditions and Information for NIH Grants website. This includes any recent legislation and policy applicable to awards that is highlighted on this website. When calculating the award for additional funds, NIH will 1) prorate funding if the requested budget period is adjusted at the time of award, and 2) use the institution’s current F&A rate; i.e., the rate in effect when the new funding is provided.

2. Administrative and National Policy Requirements

All NIH grant and cooperative agreement awards include the NIH Grants Policy Statement as part of the NoA. For these terms of award, see the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General and Part II: Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions for Specific Types of Grants, Grantees, and Activities. More information is provided at Award Conditions and Information for NIH Grants.

Cooperative Agreement Terms and Conditions of Award

Any supplements to Cooperative Agreements will be subject to the same Cooperative Agreement terms and conditions as the parent award.

3. Reporting

Reporting requirements will be specified in the terms and conditions of award as applicable to the supplemental activities. In most non-competing continuation applications, the progress report and budget for the supplement must be included with, but clearly delineated from, the progress report and budget for the parent award. The progress report must include information about the activities supported by the supplement even if support for future years is not requested. Continuation of support for the supplement activities in the remaining years of the competitive segment of the grant will depend upon satisfactory review by the NIH awarding component of progress for both the parent award and the supplement project, the research proposed for the next budget period, and the appropriateness of the proposed budget for the proposed effort. This information is submitted with the Non-Competing Grant Progress Report, PHS 2590 or RPPR, and financial statements as required in the NIH Grants Policy Statement.

The Federal Funding Accountability and Transparency Act of 2006 (Transparency Act), includes a requirement for awardees of Federal grants to report information about first-tier subawards and executive compensation under Federal assistance awards issued in FY2011 or later. All awardees of applicable NIH grants and cooperative agreements are required to report to the Federal Subaward Reporting System (FSRS) available at www.fsrs.gov on all subawards over $25,000. See the NIH Grants Policy Statement for additional information on this reporting requirement.

4. Evaluation

Evaluation of this administrative supplements program providing research experiences for physicians and medical students from underrepresented backgrounds will be carried out within seven years after the release of this funding opportunity announcement. The overall evaluation of the program will be based on metrics that may include, but are not limited to: subsequent participation in a formal research training or career development program; publication and/or authorship arising from the research supported under this program; publication and/or authorship of other scientific publications relevant to mental health; subsequent applications for NIMH and NIH funding; and subsequent research in a mental health relevant field. Findings of this evaluation will determine whether NIMH (a) continues the program as currently configured; or (b) continues the program with modifications, or (d) whether to discontinue the program. Should the findings indicate that the program is no longer needed or is ineffective, NIMH may consider terminating the program.

Section VII. Agency Contacts

We encourage inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential applicants.

Application Submission Contacts

eRA Service Desk (Questions regarding ASSIST, eRA Commons registration, submitting and tracking an application, documenting system problems that threaten submission by the due date, post submission issues)
Telephone: 301-402-7469 or 866-504-9552 (Toll Free)
Finding Help Online: https://grants.nih.gov/support/index.html
Email: [email protected]

Grants.gov Customer Support(Questions regarding Grants.gov registration and submission, downloading forms and application packages)
Contact Center Telephone: 800-518-4726
Email: [email protected]

GrantsInfo (Questions regarding application instructions and process, finding NIH grant resources)
Telephone: 301-945-7573
Email: [email protected]

Scientific/Research Contact(s)

Ishmael Amarreh, Ph.D.
National Institutes of Mental Health (NIMH)
Email: [email protected]
Phone: 301.451.5132

Peer Review Contact(s)

Not Applicable

Financial/Grants Management Contact(s)

Tamara Kees
National Institute of Mental Health (NIMH)
Telephone: 301-443-8811
Email: [email protected]

Section VIII. Other Information

Recently issued trans-NIH policy notices may affect your application submission. A full list of policy notices published by NIH is provided in the NIH Guide for Grants and Contracts. All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement.

Authority and Regulations

Awards are made under the authorization of Sections 301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) and under Federal Regulations 42 CFR Part 52 and 45 CFR Parts 74 and 92.